Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Austin Oakum is a financial advisor with CTC, LLC, a firm based in Chicago, IL. James is a Series 7, Series 55, Series 57TO, and SIE licensed advisor and has been in the industry since 2015. Before joining CTC, LLC, James worked at Goldman Sachs & Co. LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
IL
04/12/2019 - Present
CTC, LLC (CHICAGO IL)
NY
08/25/2015 - 03/12/2019
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
BC
Issued 08/28/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/2015
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/25/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
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